1999 Performance Plan

Revised Final Plan, November 1998

Table of Contents

Preface    Strategic Goal 1: Essential evidence

Target 1.1: Inventory and schedule
Target 1.2: Close out schedule items
Target 1.3: Recordkeeping systems
Target 1.4: Recordkeeping requirements

Strategic Goal 2: Access

Target 2.1: Customer service
Target 2.2: Customer contacts
Target 2.3: On-line catalog
Target 2.4: Declassification
Target 2.5: Presidential records
Target 2.6: Federal Register publications
Target 2.7: Charters of Freedom
Target 2.8: NHPRC grants

Strategic Goal 3: Space

Target 3.1: Holdings in appropriate space
Target 3.2: Preservation of at-risk holdings
Target 3.3: Preservation of electronic records

Strategic Goal 4: Infrastructure

Target 4.1: Performance plans and appraisals
Target 4.2: Equal employment opportunity
Target 4.3: Staff development plans
Target 4.4: Computers and communications
Target 4.5: Records life-cycle system

Preface

The National Archives of the United States is a public trust on which our democracy depends. It enables people to inspect for themselves the record of what Government has done. It enables officials and agencies to review their actions and helps citizens hold them accountable. It ensures continuing access to essential evidence that documents:

• the rights of American citizens,
• the actions of Federal officials,
• the national experience.

To ensure ready access to essential evidence, the National Archives and Records Administration (NARA) establishes policies and procedures for managing U.S. Government records. We assist and train Federal agencies in documenting their activities, administering records management programs, scheduling records, and retiring non-current records to Federal records centers for cost-effective storage. We appraise, accession, arrange, describe, preserve, and make available to the public the historically valuable records of the three branches of Government. We manage the nationwide system of Presidential libraries and regional records services facilities. We assist non-Federal institutions through a grants program administered by the National Historical Publications and Records Commission. We publish the Federal Register, Statutes at Large, Government regulations, and Presidential and other public documents.

NARA serves a broad spectrum of American society. Genealogists, individuals, and family historians; veterans and their authorized representatives; academics, scholars, historians, business and occupational researchers; publication and broadcast journalists; Congress, the White House, other public officials; Federal Government agencies and the individuals they serve; State and local government personnel; professional organizations and their members; supporters' groups, foundations, donors of historical materials; students and teachers; and the general public — all seek answers from the records we preserve.

To be effective, we at NARA must determine what evidence is essential for documentation, ensure that Government creates such evidence, and make it easy for users to access that evidence regardless of where it is, or where they are, for as long as needed. We also must find technologies, techniques, and partners world-wide that can help improve service and hold down costs, and we must help staff members continuously expand their capability to make the changes necessary to realize the vision.

NARA's Mission:

NARA ensures, for the Citizen and the Public Servant, for the President and the Congress and the Courts, ready access to essential evidence.

NARA's Strategic Goals:

• One: Essential evidence will be created, identified, appropriately scheduled, and managed for as long as needed.
   
• Two: Essential evidence will be easy to access regardless of where it is or where users are for as long as needed.
   
• Three: All records will be preserved in appropriate space for use as long as needed.
   
• Four: NARA's capabilities for making the changes necessary to realize our vision will continuously expand.

These goals and the strategies we intend to pursue toward their achievement are detailed in Ready Access to Essential Evidence: The Strategic Plan of the National Archives and Records Administration, 1997-2007, issued September 1997. This annual performance plan is based on the goals, strategies, and long-range performance targets in our Strategic Plan. It details the actions and outcomes that must occur in Fiscal Year 1999 if we are to meet the goals and targets in our Strategic Plan. In addition to listing performance goals and measures for evaluating our performance, the plan describes the processes, skills, and technologies we will need to perform our projected work, and the human, capital, and informational resources needed to meet the year's performance goals. We also have linked NARA's budget request to our plan's performance goals. NARA received no aid from non-Federal parties in preparing this plan.

Due to changes in external factors, we have revised three FY 1999 objectives. Under Target 2.7, we are accelerating plans to re-encase the Charters of Freedom by developing and fabricating a prototype in 1999. Under Target 3.1, we are refining the scope of the renovation of Archives I, which will eliminate the need to expand Archives II at this time. Also, rent reductions at the Los Angeles Federal records center have eliminated the immediate need to relocate that facility at this time. In this Revised Final Plan we made adjustments to objectives, outputs, and outcomes based on our FY 99 appropriation, which the Congress approved and the President signed into law.

Following is a summary of the resources, by budget authority, we received to meet our FY 1999 objectives. This excludes Archives II principal for redemption of debt, in the amount of $5,151,000, in accordance with OMB guidance.

This is a high-level summary of our resource requirements. The numbers are linked to strategic goals and performance targets in the pages that follow.

No plan for measuring progress would be complete without procedures to verify and validate the results. NARA will use three existing mechanisms to measure actual performance: (1) periodic management reviews, (2) formal audits of operations, and (3) systematic sampling of measurement system effectiveness. Furthermore, NARA will support accurate and effective performance measurement through two new undertakings: (1) establishment of a systematic agency-wide measurement and reporting program, and (2) development of a comprehensive and coordinated program in which we measure the satisfaction of customers with NARA services. We will support our agency-wide plan with more detailed operating plans for FY 1999 at the office level and below. Some additional minor revisions have been made to this plan as a result of our development of our performance measurement system.

We must succeed in reaching our goals because NARA is not an ordinary Federal agency. NARA safeguards the significant records of all agencies of our national Government. NARA serves not just today's citizens, but all who are yet to come. We must not only preserve past documents already in our care, but also prepare to manage tomorrow's records in new and challenging forms. This plan is our 1999 road map for making that a reality.

STRATEGIC GOAL 1:
Essential evidence will be created, identified, appropriately scheduled, and managed for as long as needed.

Long Range Performance Targets

1.1. By 2007, 80 percent of Federal records are inventoried and scheduled within two years of creation.

1.2. By 2007, 90 percent of records schedule items are closed out within 120 days of submission to NARA.

1.3. By 2007, Federal agencies incorporate NARA recordkeeping requirements in the design, development, and implementation of 50 percent of the automated recordkeeping systems through which they manage essential evidence.

1.4. By 2007, 100 percent of Federal agency components manage Government records in all formats in accordance with NARA recordkeeping requirements.

FY 99 Resources Required to Meet This Goal: $12,044,000; 109 FTE

Long Range Performance Target 1.1. By 2007, 80 percent of Federal records are inventoried and scheduled within two years of creation.

FY 99 Objectives

1. Establish team and complete data collection efforts including as-is modeling of existing processes for the re-engineering study of the inventorying, appraisal, scheduling, and tracking of Federal records while in agency custody. (See also Target 4.5.)
    
2. Increase the number of records schedule items submitted by agencies and processed by 20 percent over the number submitted by agencies and processed in FY 97.

Significance of FY 99 Objectives. Without effective records management, records needed to document citizens' rights, actions for which Federal officials are responsible, and the historical experience of our nation will be at risk. To ensure that records are not in jeopardy, NARA must move from its current reactive stance in working with individual agencies on records management to a more strategic front-end approach in keeping with the first broad goal in NARA's Strategic Plan: "Essential evidence will be created, identified, appropriately scheduled, and managed for as long as needed."

Means and Strategies. NARA lacks sufficient staff to continue using its traditional processes to work with agencies to identify and address problems that could result in the improper maintenance or erroneous destruction of essential evidence. NARA receives 4,870 new schedule items and closes out 6,000 (new and backlogged) schedule items per fiscal year. NARA has incomplete information about what records are being created in Federal agencies and lacks reliable information about how those records are being managed.

NARA recognizes that improving the processes by which records are appraised, scheduled, and accessioned is dependent on improving the quality and quantity of information used in the processes. The re-engineering effort will look at the processes, productivity, and information needs of both the external and internal customers and identify procedural and information solutions to meet customer needs. NARA will:

• collect and evaluate customer and stakeholder service level requirements and establish performance targets;
• model existing processes and identify gaps;
• develop and analyze process alternatives to meet targeted performance; and
• develop implementation plans for new processes, supporting technology, and change management initiatives.

Key accomplishments needed in FY 98 that enable achievement of FY 99 objective: Encourage the generation of more schedule items by beginning to work with agencies targeted for early testing of baseline assessment information and expanding work on identifying new electronic systems in agencies.

Key external factor that could influence the achievement of the FY 99 objective: Willingness and ability of agencies to inventory and schedule records. Success on their parts will result in more schedules being developed in FY 98 than may be processed in FY 99. Implementation of the recommendations of the Electronic Records Work Group may result in an overwhelming increase in the number of schedule items submitted, thus challenging NARA's ability to meet the objectives before implementation of the re-engineered processes.

Measurement Categories and Values

FY 99 Workload

1. Undertake re-engineering study of the processes by which Federal records overall are identified, appraised, scheduled, and tracked while in agency custody.
2. 12,700 schedule items to be processed (includes about 6,900 in process at the beginning of the fiscal year).

FY 99 Output

1. Complete data collection efforts including as-is modeling of existing processes for the re-engineering study of the inventorying, appraisal, scheduling, and tracking of Federal records while in agency custody.
2. 7,200 schedule items closed out; 5,500 remaining on hand for FY 00.

FY 99 Productivity

2. 327 schedule items closed out per FTE.

FY 99 Outcome

1. Undertaking a re-engineering study will set the stage for development of the portion of a records life-cycle information system in which front-end records management will be automated.

Long Range Performance Target 1.2. By 2007, 90 percent of records schedule items are closed out within 120 days of submission to NARA.

FY 99 Objective

1. Close out 3,800 schedule items within 120 calendar days of submission to NARA.

Significance of FY 99 Objective. The processes that Federal agencies and NARA use to schedule agency records are almost entirely paper-based, inefficient, and not customer-oriented. Taking a long time for processing schedules delays action on the disposition of records and discourages agencies from submitting schedules.

Means and Strategies. Approved records schedule items are closed out as follows:

• Proposed schedules are reviewed to ensure compliance with NARA requirements.
• NARA coordinates with agency (often includes on-site review of records).
• NARA prepares appraisal reports, publishes Federal Register notices.
• The Archivist gives final approval for disposition of records.
• Close out is completed.

Key accomplishments needed in FY 98 that enable achievement of FY 99 goal: Successful implementation of short-term process improvements noted below.

In FY 97, NARA conducted an extensive review of current appraisal practices and developed a series of recommendations for improving the process prior to the completion of the Business Process Re-engineering (BPR) described in Target 1.1. NARA will continue implementing these recommendations for improving the appraisal process pending the completion of the BPR.

Successful implementation of baseline assessment project described in Target 1.4 below.

Key external factors that could influence the achievement of the FY 99 goal: Willingness and ability of agencies to act on records schedules in a timely fashion. Implementation of the recommendations of the Electronic Records Work Group may result in an overwhelming increase in the number of schedule items submitted, thus challenging NARA's ability to close out more schedule items within 120 calendar days.

Measurement Categories and Values

FY 99 Workload

Processing 12,700 schedule items (20 percent higher than FY 97 baseline, per objective 1.1.2).

FY 99 Output

3,800 schedule items closed out in 120 calendar days.

FY 99 Productivity

327 schedule items per FTE.

FY 99 Outcome

Decreasing the time it takes to close out schedule items will meet Federal agency needs for quicker processing of their disposition requests and reduce the risk of improper maintenance or erroneous destruction of essential evidence.

Long Range Performance Target 1.3. By 2007, Federal agencies incorporate NARA recordkeeping requirements in the design, development, and implementation of 50 percent of the automated recordkeeping systems through which they manage essential evidence.

FY 99 Objective

1. Draft detailed guidance on recordkeeping requirements for specific types of electronic records and develop criteria and pilots for testing the feasibility of those requirements.

Significance of FY 99 Objective. In the past two decades, there has been an explosion in quantities and types of electronic records generated by the Federal Government. Nearly every type of record created in traditional media now exists in electronic form and electronic records exist in forms that have no counterpart in other media. Developments in technology for creating records have not been matched by technological developments for managing them. The regulations and guidance that NARA currently provides to Federal agencies are inadequate to ensure ready access to Government records for as long as needed. In particular, the absence of standards and guidelines for electronic recordkeeping threatens the Government's ability to ensure access to records generated and maintained in electronic formats.

Means and Strategies. NARA will:

• work with agencies on initiatives, such as the DoD Baseline Requirements for Records
• Management Applications (RMA), to develop recordkeeping requirements;
• find tools, standards, and products capable of meeting these requirements;
• do baseline assessment of systems Government-wide that contain essential evidence;
• draft recordkeeping requirements for records in electronic formats; and
• find partners to conduct pilots to test feasibility of requirements.

Key accomplishments needed in FY 98 that enable achievement of FY 99 objective: Review and approve DoD Baseline Requirements for RMA. Be actively involved in DoD testing and certification of records management software. Develop a revised draft of the basic recordkeeping requirements for all electronic systems.

Key external factors that could influence the achievement of the FY 99 objective: DoD must sustain current timetable for its plans for Baseline Requirements for RMA and testing of software. Partners must be available to conduct pilots to test the feasibility of requirements.

Measurement Categories and Values

FY 99 Workload

1. Drafting detailed guidance on recordkeeping requirements for specific types of electronic records.
2. Developing criteria and pilots for testing the feasibility of those requirements.

FY 99 Output

1. Guidance documents that provide requirements for developing recordkeeping systems for electronic text files, e-mail, and imaging applications.
2. Criteria and pilots identified.

FY 99 Outcome

Improved management of electronic records based on the guidance. Sufficiency of guidance measured by how well systems that employ the guidance conform to recordkeeping requirements.

Long Range Performance Target 1.4. By 2007, 100 percent of Federal agency components manage Government records in all formats in accordance with NARA recordkeeping requirements.

FY 99 Objective

1. NARA will revise its evaluation process to collect and utilize baseline information about the status of Federal agencies' recordkeeping practices, and begin to identify which agencies have critical needs for managing their records.

Significance of FY 99 Objective. Currently, we cannot identify the percentage of Federal agencies that manage records in accordance with NARA's recordkeeping requirements. This objective will help NARA to meet its statutory responsibility for oversight. It will provide a significant tool for gathering information on records management in the approximately 334 Federal agency components creating records in thousands of locations.

Means and Strategies. NARA has incomplete information about what records are being created in Federal agencies and lacks reliable information about how those records are being managed.

NARA will:

• collect baseline information on targeted agencies;
• issue initial reports concerning the status of records management to agencies for review and action;
• maintain a database; and
• request that agencies provide action plans for addressing specific deficiencies.

Key accomplishments needed in FY 98 that enable achievement of FY 99 objective: Begin collection of baseline assessment information. Complete a pilot survey of selected agencies to validate data elements in the baseline information system.

Key external factors that could influence the achievement of the FY 99 objective: Agencies must cooperate by providing information about their programs.

Measurement Categories and Values

FY 99 Workload

Assessment during FY 99 of 150 agency components both in the Washington, DC, area and in the regions.

FY 99 Output

150 agency baseline assessments completed.
Deficiencies identified.
Agencies notified concerning deficiencies.

FY 99 Productivity

16 agency baseline assessments completed per FTE.

FY 99 Outcome

NARA will have more comprehensive and accurate information with which to assist Federal agencies in managing Government records in all formats in accordance with NARA recordkeeping requirements.

Definitions:

1. records schedule - a document, having legally binding authority when approved by NARA, that provides mandatory instructions for what to do with records no longer needed for current business. Return to text.
2. schedule items - the separate series of records that are listed, described, and numbered as separate groupings of records on a records schedule. Return to text.
3. close out - the final decision and action on each schedule item including: grant of disposition authority by NARA, or return by NARA to the agency for revision, or withdrawal by a Federal agency from consideration. Return to text.
4. deficiency - a failure by an agency to meet a requirement for an adequate records management and records disposition program (e.g., failure to appoint an agency records officer; failure to transfer to NARA records scheduled as permanent on the required transfer date; and a failure to submit a records disposition request for records created by an agency that lack a NARA-approved disposition authority). Return to text.

STRATEGIC GOAL 2:
Essential evidence will be easy to access regardless of where it is or where users are for as long as needed.

Long Range Performance Targets

2.1. By 2007, access to records and services meets or exceeds NARA's published standards which continually reflect our customers' needs and requirements.

2.2. By 2007, 50 percent of customer contacts for NARA information and services are made electronically.

2.3. By 2007, 100 percent of NARA records holdings are described at the series or collection level in an on-line catalog.

2.4. By 2004, NARA will assist Federal agencies in their efforts to review systematically and declassify records in NARA custody by annually (a) reviewing and declassifying 100 percent of records more than 25 years old for which NARA has been granted declassification authority, and (b) identifying and making available for agency review records in NARA's custody that require review by the originating agency.

2.5. By 2007, 100 percent of Presidential records transferred to NARA are inventoried and processed so that they are readily identifiable for requests under the Freedom of Information Act (FOIA) at the end of the five-year post-Presidential period specified in the Presidential Records Act. At the same time, 10 percent of records of a two-term President or 15 percent of records of a one-term President are open and available for research.

2.6. By 2002, 100 percent of Office of Federal Register publications are available upon publication in both traditional formats and on-line.

2.7. By 2006, all architectural barriers preventing disabled Americans from having equal access to the Charters of Freedom are removed and the Charters of Freedom are appropriately re-encased to ensure their continued preservation.

2.8. By 2007, 90 percent of all NHPRC-assisted projects produce results promised in grant applications approved by the Commission.

FY 99 Resources Required to Meet This Goal:

Long Range Performance Target 2.1. By 2007, access to records and services meets or exceeds NARA's published standards which continually reflect our customers' needs and requirements.

FY 99 Objectives

1. Meet or exceed NARA's published standards for access to records and services, as noted below:

• 80 percent of written requests are answered within 10 working days;
• 95 percent of items requested in our research rooms are furnished within one hour of request or of scheduled pull time;
• 99 percent of self-service customers are assisted within 15 minutes of signing into a research room;
• for 99 percent of customers with appointments, records will be waiting at the appointed time;
• 90 percent of routine Federal agency reference requests to records center activities in regional records services facilities are ready within 24 hours of receipt in center;
• 90 percent of public education programs and workshops are rated by their users as "excellent" or "very good"; and
• all Freedom of Information Act (FOIA) requests are acknowledged within 20 working days and 80 percent are completed within 20 working days.

2. Implement a pilot team to test the redesigned work processes at the National Personnel Records Center (NPRC). Establish performance objectives that reflect the work process redesign.

Significance of FY 99 Objectives. NARA has published its standards for customer service that serve as goals for agency performance. (FOIA requests must be acknowledged in 20 working days, by law.) These agency-wide objectives represent an improvement in the quality and timeliness of NARA's service delivery to millions of customers.

The Business Process Re-engineering of reference services at the NPRC will result in improved service to approximately 2,000,000 customers.

Meeting these objectives will increase the public's satisfaction and confidence that the Federal Government is providing essential evidence in a timely and accurate manner.

Means and Strategies

1. NARA's FY 96 Customer Service Performance Report documented a variety of performance results against NARA's customer service standards for the various offices within NARA; however, measurement systems are too fragmented and data collection too incomplete to provide reliable baselines for performance nationwide. Furthermore, while several NARA organizations have independently surveyed a number of specific customer groups to gather satisfaction data, a coordinated, agency-wide approach must be revived.

The following are very general descriptions of processes covered by the above standards, as practices vary from Office to Office:

• Answering written requests involves researching inquiries, writing and reviewing responses, refiling records, logging requests, and forwarding requests.
• Providing items requested in research rooms involves searching for and pulling requested records, tracking requests, bringing records from stacks to research rooms, and refiling records.
• Self-service customers sign into a research room and are provided basic information about services, such as instructions for use of microfilm and availability of reader equipment and finding aids. They then pull the reels of film they need, view them on reader equipment, and make their own copies, with advice and assistance of staff.
• Records center customers in regional records services facilities view records in research rooms by appointment. Requests are researched and materials are pulled from stacks so that they are waiting at the appointed time.
• Routine Federal agency reference requests are logged, records are pulled, and the request is prepared for pick-up or mail-out. Requests are received by mail, fax, telephone, and via the Centers Information Processing System (CIPS). (See Target 2.2 for more detail on CIPS. )
• Freedom of Information Act (FOIA) requests require special review and redaction of large quantities of individual documents and often involve consultation with other agencies.
• In addition, there are numerous internal processes such as accessioning, initial processing, and holdings maintenance activities that prepare records for public access.

2. In FY 99 the BPR at NPRC will survey customers to determine their satisfaction with current service levels and will provide a basis for appropriate standards and process revision for this high-volume operation. During the study, NPRC will continue to answer reference requests.

Key accomplishments needed in FY 98 that enable achievement of FY 99 objectives:

• Determine data collection priorities.
• Unify and improve transactional data measurement systems and practices. NARA currently does not have a measurement system in place that would provide consistent, reliable data across offices, nor a program of standardized measurement practices. Reliance on local measurement practices hinders the consolidation of data into meaningful, agency-wide measures.
• Review and revise customer service standards.

Key external factors that could influence the achievement of the FY 99 objectives: Unexpected increases in records holdings, especially records of Independent Counsels, or in public interest in groups of records can significantly increase workloads, response times, and wear and tear on public use equipment.

Measurement Categories and Values

FY 99 Workload

1. Written and oral requests: 546,700
   FOIA requests: 6,500
   Items furnished to researchers in research rooms: 923,400
   Self-service research visits: 237,100
   Records center customers w/appointments: 25,000
   Routine Federal agency reference requests: 10.8 million
   Other records center reference requests: 800,000
   Public educational program and workshop participants: 194,200
   Exhibits planned: 64
2. Redesign work processes at NPRC.
   Establish performance objectives that reflect the work process redesign.

FY 99 Output

1. Written and oral responses: 546,700
   FOIA requests acknowledged: 6,500
   FOIA requests completed: 5,200
   Items furnished to researchers in research rooms: 923,400
   Self-service research visits: 237,100
   Records center customers w/appointments: 25,000
   Routine Federal agency reference requests completed: 10.8 million
   Other records center reference requests completed: 800,000
   Public educational program and workshop participants: 194,200
   Exhibits opened: 64
   Visitors to museums and exhibits: 2.5 million
2. percentages of requests completed within published time standards.
3. Pilot team tested redesigned work processes at NPRC.
   Performance objectives established that reflect the work process redesign.

FY 99 Productivity

1. Written and oral responses: 6,900 per FTE
   FOIA requests completed: 230 per FTE
   Items furnished to researchers in research rooms: 39,000 per FTE
   Routine Federal agency reference requests: 56,300 requests per FTE

FY 99 Outcome

Improving performance against customer service standards will increase the confidence of NARA's customers that essential evidence is readily available. Improving scores on customer satisfaction data collections will document this outcome.

Long Range Performance Target 2.2. By 2007, 50 percent of customer contacts for NARA information and services are made electronically.

FY 99 Objective

1. 30 percent of customer contacts for NARA information and services are made electronically.

Significance of FY 99 Objective. Until the mid 1990's, requests to NARA for information and services were limited to two means: oral (by telephone or in person) and written (correspondence). With the advent of the Internet, more people get faster access to NARA information. From FY 94 through FY 97, the number of electronic requests for information and services provided directly by NARA mushroomed from about 379,000 to almost 3.6 million per year, an increase from two percent to 16 percent of all requests. This increase suggests the growing importance of electronic access for facilitating communications with our customers.

Means and Strategies. Information about NARA services and holdings currently is available as follows:

• The Electronic Access Project (EAP) portion of NARA's web site allows individuals to search many descriptions of NARA holdings on-line and retrieve digital copies of selected textual and non-textual documents, while other components of NARA's web site and gopher provide access to a variety of other information about NARA's organization and services.
• NARA provides an automated index to the John F. Kennedy assassination files, as required by law.
• The Government Information Locator Service describes what kinds of information NARA creates about its holdings and its internal operations.
• Some NARA exhibits are now provided on-line.
• Electronic versions of Office of Federal Register publications are accessed through GPO Access (see FY 99 objective 2.6.1 below for further information).

NARA currently provides three electronic request mechanisms:

• CIPS allows Federal agencies to electronically request the retrieval of their records center holdings;
• Fax-On-Demand allows individuals to electronically request copies of selected NARA informational publications and releases;
• The On-Line Registry's remote access component allows authorized military users to electronically request military personnel information from the National Personnel Records Center.

Key accomplishments needed in FY 98 that enable achievement of FY 99 objective: During FY 98, customer surveys will provide information needed to ensure that each service continues to meet customer needs and requirements. Also, development of a more precise methodology for capturing baseline user information from the NARA web and gopher sites will support refinement of the long-term goal.

Measurement Categories and Values

FY 99 Workload

25 million contacts in all forms.

FY 99 Output

8 million customer contacts for NARA information and services completed electronically.

FY 99 Productivity

Time "lost" in traditional transmission of requests and receipt of responsive information will be eliminated or reduced.

FY 99 Outcome

Greater access to NARA information and services for more people.

Long Range Performance Target 2.3. By 2007, 100 percent of NARA records holdings are described at the series or collection level in an on-line catalog.

FY 99 Objectives

1. Complete development of the Archival Research Catalog. (See also Target 4.5.)
2. Describe 10 percent of holdings in NARA Archival Information Locator.

Significance of FY 99 Objectives. The Archival Research Catalog (ARC) is one cornerstone of the nationwide, integrated on-line information delivery system that will educate citizens about NARA and its facilities, services, and holdings. Description in the NARA Archival Information Locator (NAIL) of 10 percent of holdings will provide a substantial amount of data that may be readily migrated to ARC.

Means and Strategies

• Limited information about NARA's holdings is currently available to the public on-line in the NARA Archival Information Locator (NAIL), a pilot catalog. Although there has not been an on-line survey of NAIL users, we know from the 1994 User Study: Informational Needs of Remote National Archives and Records Administration Customers conducted by the National Institute of Standards and Technology that customers want electronic access to NARA information and want to be able to search by subjects, events, personal names, titles, place names, and geographic areas. Customers indicated by their use of NAIL, which grew from 54,000 hits on its home page in 1996 to 160,000 in 1997, that they want this kind of on-line capability.
   
• Although NAIL now includes brief descriptions of the 414 record groups held by NARA, more detailed information is available for only a small fraction of NARA holdings. (While NAIL contains more than 250,000 descriptions, NARA's facilities hold about 21.5 million cubic feet of original textual materials, of which some 5.8 million cubic feet are scheduled for permanent retention; nearly 300,000 reels of motion picture films; more than five million maps, charts, and architectural drawings; more than 200,000 sound and video recordings; more than nine million aerial photographs; nearly 14 million still pictures and posters; and about 7,600 computer data sets.)
   
• By the end of FY 99, migration of existing NAIL data to the Archival Research Catalog (ARC) will have been accomplished and the roll-out of ARC to all NARA sites will begin, enabling them to begin entry of descriptive information into the catalog.
   

Key accomplishments needed in FY 98 that enable achievement of FY 99 objectives:

1. Evaluate NAIL prototype to determine ARC requirements.
2. Establish Data Standards Program.
3. Design, install, modify, test, and debug initial version of the ARC software.
4. Complete digitization of 120,000 significant and representative records that document the "rights of American citizens, the actions of Federal officials, and the national experience."

Measurement Categories and Values

FY 99 Workload

1. Implementation of the Archival Research Catalog (ARC) in all NARA sites.
2. Description of 216,000 cubic feet of records.

FY 99 Output

1. Implementation of ARC in all NARA facilities completed.
2. 216,000 cubic feet described.

FY 99 Outcome

A searchable catalog of selected NARA holdings nationwide, and access to 120,000 high-interest documents linked to their descriptions.

Long Range Performance Target 2.4. By 2004, NARA will assist Federal agencies in their efforts to review systematically and declassify records in NARA custody by annually (a) reviewing and declassifying 100 percent of records more than 25 years old for which NARA has been granted declassification authority, and (b) identifying and making available for agency review records in NARA's custody that require review by the originating agency.

FY 99 Objectives

1. Review 60 percent of archival records in NARA's custody more than 25 years old and 50 percent of Presidential materials (500,000 pages for this fiscal year).
2. Refer to agencies 100 percent of identified agency records eligible for declassification review for which NARA has no delegated declassification authority. This includes scanning one million pages this fiscal year in Presidential libraries for review by equity-holding agencies.

Significance of FY 99 Objective. Executive Order 12958 requires eliminating by April 2000 the backlog of classified materials Government-wide more than 25 years old that have yet to be reviewed and, if not exempt, declassified. The Government protects millions of classified documents at great expense, including more than 298 million pages in NARA's Washington, DC, area facilities and 24 million pages in Presidential libraries. The majority of these documents more than 25 years old no longer require classified protection and can and should be accessible to citizens.

Means and Strategies

• NARA possesses no declassification authority of its own. Several agencies have delegated declassification authority to NARA to facilitate the review process. This objective focuses on classified records that are at least 25 years old and for which NARA has applicable declassification review guidelines.
   
• NARA's Washington, DC, area facilities use two approaches to systematic declassification review of records: survey and page-by-page review. Beginning in FY 97, NARA began to survey newly-accessioned classified records as part of their initial processing. Prior to that date, surveys usually were instituted at a later date. The survey supports and facilitates the process of identifying those portions of the records that will require the more intensive page-by-page review needed to identify the documents exempt from release.
   
• Once exempt documents, or those for which NARA has no declassification review guidelines, have been identified, they are referred to the originating agencies for further action.
   
• In the Presidential libraries, classified records are scanned at the libraries and the digitized images referred to the agencies for review and possible declassification.
   
• Declassified documents are processed for opening by NARA staff.
   
• Subsequently, public notification of declassified series is provided by NARA, on-line and in print.
   

Key accomplishments needed in FY 97 and 98 that enable achievement of FY 99 objective: Each fiscal year, review approximately 112.5 million pages of classified records more than 25 years old.

Key external factors that could influence the achievement of the FY 99 objective: Participating agencies must continue to fund the scanning process. The CIA must continue to provide technical support for the project.

Measurement Categories and Values

FY 99 Workload

1. 225.5 million pages (includes about 25 million pages of material newly eligible for declassification).
2. Scanning 1.0 million pages in Presidential libraries.

FY 99 Output

1. Pages examined for declassification in Washington, DC, area facilities: 135.3 million.
2. 1.0 million pages scanned in Presidential libraries.
3. Referred to agencies 100 percent of identified agency records eligible for declassification review for which NARA has no delegated declassification authority.

FY 99 Productivity

Pages examined for declassification per FTE: 6.1 million.

FY 99 Outcome

1. Pages declassified and released in Washington, DC, area facilities: 101.5 million. (This number represents 75 percent of the pages reviewed; the remainder would be exempt from declassification.)
2. 500,000 pages released in Presidential libraries.

Long Range Performance Target 2.5. By 2007, 100 percent of Presidential records transferred to NARA are inventoried and processed so that they are readily identifiable for requests under the Freedom of Information Act (FOIA) at the end of the five-year post-Presidential period specified in the Presidential Records Act. At the same time, 10 percent of records of a two-term President or 15 percent of records of a one-term President are open and available for research.

FY 99 Objective

1. Hire and begin training staff to process the Clinton Presidential records.

Significance of FY 99 Objective. The Presidential Records Act (PRA) requires Presidential records to be available for FOIA requests five years after the President leaves office. Five years after the last two Presidents left office, significantly less than 10 percent of their records had been opened, largely because of the absence, on their departures, of NARA staff trained to accomplish the exacting reviews required under the PRA and FOIA. Hiring staff in advance of the close of President Clinton's administration will ensure that his Presidential records are available in accordance with the Act in a more timely fashion than his predecessors' records.

Means and Strategies

• Archivists in Presidential libraries establish basic intellectual control over the records by completing box and/or folder title lists for the Presidential records and personal materials transferred to NARA custody. Box and folder title lists provide preliminary access to the collection until more extensive descriptions can be completed. All Presidential records and personal materials in Presidential libraries must be reviewed for PRA exemptions and FOIA restrictions prior to opening for research.
   
• Archivists and other professionals hired and trained under this objective will be temporarily assigned to the Presidential Materials Staff and the Reagan and Bush libraries. One effect of these assignments will be to significantly reduce the processing backlogs at these sites.
   

Key external factors that could influence the achievement of the FY 99 objective: There are several circumstances, relating to Presidential records, beyond NARA's control that increase the value of accelerating the hiring of Clinton Library staff:

1. Some finding aids to White House records are in an electronic form not readily usable on NARA systems.
2. Records from key White House staff offices and the National Security Council arrive with little inventory control, which necessitates creating information on content "from scratch."
3. New staff need time-consuming security clearances and training in review processes.
4. Some of the workload, involving such things as special access requirements and early opening of records by former Presidents, cannot be anticipated.

Measurement Categories and Values

FY 99 Workload

Recruit and begin to train staff to process Clinton Presidential records.

FY 99 Output

Employees recruited, temporarily assigned to other units; training begun.

FY 99 Outcome

• NARA will be training the staff necessary to ensure that all Clinton Presidential records transferred to NARA are readily identifiable for FOIA requests at the end of the five-year post-Presidential period specified in the PRA, and 10 percent of the Clinton Presidential records will be open and available for research.
• FTE assigned for training at the Reagan and Bush libraries will process an additional 100,000 pages of Presidential records at these libraries.

Long Range Performance Target 2.6. By 2002, 100 percent of Office of Federal Register publications are available upon publication in both traditional formats and on-line.

FY 99 Objectives

1. 100 percent of scheduled publications are available on-line.
2. 100 percent of the Code of Federal Regulations volumes are available on-line.
3. 100 percent of the on-line publications are the most recent edition.

Significance of FY 99 Objectives. The OFR prepares and publishes a wide variety of public documents that inform the public of the Federal laws and regulations that govern our public and private institutions and citizenry. These documents, which are submitted by Federal agencies, the Congress, and the Executive Office of the President, include slip law versions of new public laws, the United States Statutes at Large, the Federal Register, the Code of Federal Regulations, the Weekly Compilation of Presidential Documents, the Public Papers of the Presidents, and The United States Government Manual. The majority of OFR publications are now available on-line via GPO Access. The popularity of this means of access is demonstrated by the sevenfold increase in use of the on-line version of the Federal Register from 1995 to 1997 (to more than 2.2 million individual searches per month). Likewise, the Code of Federal Regulations site, with all volumes available on-line, receives more than 3 million searches per month.

Means and Strategies

• OFR now edits most of the material it receives for publication in a manner that permits the production of both a printed and an electronic version of the publication from a single database.
• After each volume of the new edition of each publication is approved by the OFR for printing by the Government Printing Office (GPO), GPO may release, along with any printed versions of the publications, an on-line electronic version of the publication via the GPO Access system.
• Of some 16 regular periodic publications, seven are now available on-line, including the Federal Register, the Code of Federal Regulations, the slip law version of new public laws, the Privacy Act Compilation, and The United States Government Manual.
• Some of the remaining OFR publications do not need to be available electronically. Some public service information about OFR publications and their contents is also published by the Office on a regular basis and made available via the Federal Register Electronic News Delivery (FREND) system and on NARA's world wide web site.

Key accomplishments needed in FY 98 that enable achievement of FY 99 objectives: During FY 98, the OFR will establish a policy for determining which publications already in print will be placed on-line and for how long publications will be retained on-line.

Key external factors that could influence the achievement of the FY 99 objectives: OFR does not control the volume of work for which it is responsible or the timing of submissions. The Office does not print or distribute its publications and depends on the GPO to provide common hardware and software for publishing. Significant additional resources would be required were this support from GPO decreased or withdrawn.

Measurement Categories and Values

FY 99 Workload

888,900 manuscript pages received.

FY 99 Output

888,900 pages reviewed for publication.
803,900 pages published.

FY 99 Productivity

14,600 pages reviewed per FTE.

FY 99 Outcome

95 percent of documents published within the published time frame standards.
90 percent of publications "okayed to print" by scheduled deadlines.
80 percent of customers rate services excellent or good.
100 percent of scheduled publications are available on-line.
100 percent of the Code of Federal Regulations volumes are available on-line.

Long Range Performance Target 2.7. By 2006, all architectural barriers preventing disabled Americans from having equal access to the Charters of Freedom are removed and the Charters of Freedom are appropriately re-encased to ensure their continued preservation.

FY 99 Objectives

1. Design, develop, fabricate and test a prototype encasement for the Charters of Freedom.

Significance of FY 99 Objective. NARA is legally entrusted with the care and preservation of this country's founding documents — the Declaration of Independence, the Constitution, and the Bill of Rights. Having been encased nearly fifty years ago, the technology that was utilized is now out of step with modern conservation practices. NARA conservators and outside experts concluded that the deteriorating encasements must be replaced to ensure the continued preservation of the documents for the American people.

Means and Strategies

• Only four of the seven pages of the Charters of Freedom currently are displayed in the rotunda. Current preservation science indicates that the Declaration of Independence should not be displayed in its present vertical position because of the stress that places on the skin of the parchment.
   
• While the Charters themselves appear to be physically and chemically stable, the encasements holding these documents are deteriorating, thereby placing the Charters at serious risk.
   
• The pages on display are not accessible to most mobility-impaired visitors (e.g., people in wheelchairs) or the visually impaired.
   
• Close to one million individuals visit the Charters each year. NARA does not now know how many of these people cannot view the Charters because of disabilities or how many more never attempt to visit because they have determined in advance that they would be unable to view the Charters. A count of disabled visitors who enter the rotunda will begin in FY 98. A survey of rotunda visitors also will help us identify viewing enhancements of most value to these customers.
   
• The prototype design will incorporate the latest preservation enhancements.
   
• Until re-encased, the Charters will continue to be monitored, as scheduled, for signs of deterioration or changes in the condition of the ink, the parchment, mended areas of the documents, and the encasement glass, and preservation actions taken as appropriate.
   

Measurement Categories and Values

FY 99 Workload

1.1 million visitors to the National Archives Exhibit Hall.
Number of disabled visitors.
Completing the design, development, and fabrication of the encasement prototype.
Operating Charters Monitoring System.

FY 99 Output

Prototype encasement for the Charters.
Scheduled Charters monitoring tests are completed.

FY 99 Outcome

Agency is prepared to re-encase all seven pages of the Charters.

Long Range Performance Target 2.8. By 2007, 90 percent of all NHPRC-assisted projects produce results promised in grant applications approved by the Commission.

FY 99 Objective

1. 80 percent of all NHPRC-assisted projects produce results promised in grant applications approved by the Commission.

Significance of FY 99 Objective. The National Historical Publications and Records Commission, administered within NARA, provides grants to help archivists improve their techniques (particularly through R&D projects on electronic records problems), to help state and local organizations preserve historical records outside the National Archives, and to help universities and other non-profit institutions publish editions of particularly important collections of documents.

Means and Strategies. The Commission achieves its goals and results largely through a competitive grants program open to non-profit organizations, state, local, and tribal governments, and (in a limited number of cases) individuals. Grants projects are submitted and supported by applicant institutions and organizations that provide a significant portion of the total project costs (usually 50 percent or higher). Most individual applications are for fellowships, for which the Commission currently makes only two awards annually. The projects are usually directed by a permanent member of the applicant's staff. Each project submits a proposal to NHPRC for up to a three-year grant, which is evaluated based on specific relevant criteria specified in the Commission's general program guidelines. Each application includes general goals and specific objectives, a detailed budget, a work plan with project schedule, and products that will be produced. Grants are reviewed and evaluated by peer reviewers, staff, and the Commission (and in some cases by state historical records advisory boards) and are awarded usually on an annual competitive basis. Each grant must submit regular narrative and financial reports and a final report with copies of products produced by the project. Commission staff monitor the projects through this regular reporting as well as through individual contact as necessary. Commission staff also monitor relevant professional reviews of the products of its grants as found in professional journals and reports to professional meetings. Current awards are at a level of $5 million (FY 97). Projects are currently evaluated at the close of the grant period as to whether they have submitted evidence of the satisfactory completion of the project along with the necessary copies of products. Staff will develop and evaluate more specific measures and tracking of the results for different types of projects supported by the Commission.

Key external factor that could influence the achievement of the FY 99 objective: The NHPRC rigorously evaluates grant applications on the basis of the relevance of projects to the NHPRC's strategic objectives and the ability of applicants to produce promised results. Nonetheless, results ultimately depend on those applicants rather than on staff of NARA or the NHPRC.

Measurement Categories and Values

FY 99 Workload

Grant proposals submitted: 150
Grant projects to be funded: 100
Grant projects to be monitored: 230

FY 99 Output

Grant proposals processed: 150
Projects funded: 100
Grant projects monitored: 230
Grant projects completed: 100

FY 99 Outcome

Projects completed achieving results promised: 88
Wider public access to the entire range of records on which depends the understanding of American history.

STRATEGIC GOAL 3:
All records will be preserved in appropriate space for use as long as needed.

Long Range Performance Targets

3.1. By 2006, 100 percent of NARA holdings are in appropriate space.

3.2. By 2007, 80 percent of the identified at-risk materials in NARA holdings are appropriately treated or are housed so as to retard further deterioration.

3.3. By 2007, 97 percent of electronic records in NARA holdings are managed and preserved in accordance with applicable voluntary consensus standards, regardless of their original format.
 

FY 99 Resources Required to Meet This Goal:

Long Range Performance Target 3.1. By 2006, 100 percent of NARA holdings are in appropriate space.

FY 99 Objectives

1. Complete concept design for renovation of the National Archives Building.
    
2. Complete design phase and issue request for proposals for construction work at Roosevelt and Truman Presidential Libraries.
    
3. In support of accomplishing facility repairs and improvements to library facilities, Archives I, and Archives II, as identified in facility condition surveys, award term architecture and engineering, construction quality management services, and design and build contracts. Initiate two major repair and renovation projects (more than $500,000) and complete repair and renovation projects at ten Presidential libraries.
    
4. Increase Regional Records Services system storage capacity by 480,000 cubic feet.
    
5. Complete reimbursable records centers implementation planning.
    

Significance of FY 99 Objectives. Providing appropriate environmental storage conditions is the most cost-effective means to ensure records preservation. NARA currently provides appropriate environmental storage conditions for only 21 percent of its more than 5.8 million cubic feet of archival holdings. Several regional facilities have severe quality problems, including backlogs of needed repairs and renovations, and existing Presidential libraries need upgrades in environmental conditions. "Appropriate space" includes, however, not only appropriate environmental storage conditions for all of NARA's current and future archival holdings and space sufficient in quantity for current and future temporary records holdings, but also space that facilitates researcher access to records and other NARA services, such as exhibits.

1. Archives I is more than 60 years old and its basic building systems are showing serious effects of years of use and changing demands. The building has significant deficiencies in the electrical distribution systems, heating-ventilation-air-condition components, plumbing and restrooms, elevators, and other building code requirements. The current archival storage conditions in the building do not match the quality of those at Archives II and must be improved. The original design for the building gave little consideration for providing access for disabled visitors. Actions need to be taken now to extend the useful life of this historically important building and assure compliance with the Americans with Disabilities Accessibility Guidelines.
    
2. Continuing the current renovation of the Roosevelt Library will make the 57-year-old facility safer and more accessible for staff, researchers, and museum visitors. The renovation of the Truman Library will help to bring the facility into compliance with more stringent requirements for security, fire protection, climate control, and access.
    
3. Accomplishing the various facility repairs and improvements at the libraries, Archives I, and Archives II, that are identified in NARA's facility condition surveys will ensure that their holdings are maintained in secure, environmentally appropriate space and that the facilities are safe and accessible for customers and staff.
    
4. NARA's Regional Records Services system and the Washington National Records Center will reach total capacity by the end of FY 1999 if more space is not acquired. If more space is not available, accessioning of records into the regional centers would stop for most Federal agencies.
    
5. NARA is unable to meet the increased service demands of Federal agencies and keep pace with increasing rent, personnel and other fixed costs in its records center system. Currently, because of NARA's limited abilities to charge agencies for storage and services, increased costs in this area are being absorbed by NARA's direct appropriation at the expense of other critical agency programs.
    

Means and Strategies

1. The concept design for Archives I will include repair or replacement of basic building systems and address building code issues, to maintain the functionality of the building; resolve accessibility issues to ensure compliance with the Americans with Disabilities Act Accessibility Guidelines; and specify the approach to be taken to ensure an accessible and secure public display of the Charters of Freedom.
    
2. Continuing the renovations of the Roosevelt and Truman Libraries will help bring those facilities into compliance with existing facility codes and will greatly improve the spaces available for public and educational programs and for exhibits.
    
3. Library facilities, Archives I, and Archives II require repairs and improvements to ensure that holdings are maintained in appropriate space and that the entire facility is safe and accessible to customers and staff. The facility needs anticipated by NARA's facility condition surveys will require repairs and improvements to both the structure and systems of the buildings.
    
4. The addition of three storage bays for the Regional Records Services system will allow NARA to keep up with records storage needs.
    
5. Implementation planning for a reimbursable records center system will determine appropriate, competitive rates for our potential customers; communicate the planned implementation of the program to Federal agencies; negotiate and establish reimbursable agreements with customers; establish the capital fund; update current records systems/programs to capture fee schedule and billing information; and acquire, integrate, program and test hardware/software to fulfill system requirements.
    

Key external factors that could influence the achievement of the FY 99 goal: With the continuous accessioning of new material, the percent of holdings in appropriate space will decrease until NARA begins to procure more space. Lack of public and stakeholder support for NARA's space planning activities could limit NARA's space alternatives or delay implementation of proposed plans.

Measurement Categories and Values

FY 99 Workload

Completing Archives I concept design.
Continuing the renovations of the Truman and Roosevelt libraries.
Completing repairs and improvement tasks identified for FY 99.
Acquiring three storage bays and shelving.
Completing reimbursable implementation planning.

FY 99 Output

Concept design of Archives I.
Renovations of Truman and Roosevelt Presidential Libraries progress according to schedule.
Repairs and improvements tasks are completed.
Three storage bays are acquired and shelved.
Reimbursable implementation planning is completed.

FY 99 Outcome

See "Significance of FY 99 Objective" above.

Long Range Performance Target 3.2. By 2007, 80 percent of the identified at-risk materials in NARA holdings are appropriately treated or are housed so as to retard further deterioration.

FY 99 Objectives

1. Assess all new accessions received by the Office of Records Services — Washington, DC, for determination of preservation requirements using enhanced risk assessment procedures.
    
2. 100 percent of at-risk new textual accessions in Washington, DC, will receive required preservation treatment within 12 months of legal transfer; 1.5 percent of identified at-risk previously accessioned materials will receive required preservation treatment.
    
3. Develop a systematic records preservation program for the Office of Presidential Libraries and Office of Regional Records Services.
    

Significance of FY 99 Objectives. Now, the total volume of at-risk materials cannot be determined. The new procedures for identifying at-risk materials will enable NARA to assess holdings more systematically and identify those requiring preservation treatment more readily. In addition, the appropriate housing and treatment of at-risk records will enable NARA to make them available to the veterans and other members of the public seeking essential evidence.

Means and Strategies. The situation NARA currently faces is as follows:

• ever-increasing volume of new accessions.
• continuing aging of all NARA holdings.
• NARA can provide a baseline assessment only of the quantities of acetate-based records (the most at-risk) among its holdings.
• Risk assessment is made during initial processing of new accessions.
• Military personnel records warranting long-term retention are disintegrating due to poor media quality, frequent handling for reference purposes, or damage from a 1973 fire.
• Many at-risk audiovisual records need cold storage.

NARA will:

• Continuously assess NARA's holdings to identify materials at risk, and prioritize materials based on physical condition, media, value, and use to ensure that the most critical needs are met first.
• Implement primary preservation strategy: storage of records in proper environmental conditions (i.e., move at-risk audiovisual records into cold storage).
• Take additional preservation actions: housing in appropriate containers or preservation treatment (duplicating, reformatting, or conservation).

Key accomplishments needed in FY 98 that enable achievement of FY 99 objectives: Refining risk assessment procedures in the Office of Records Services — Washington, DC: (1) evaluating risk assessment form(s); (2) developing an audit/review system for ensuring that risk assessment is applied consistently; and (3) working with other Offices to modify procedures, as needed, to meet the requirements of each.

Key external factor that could influence the achievement of the FY 99 objective: Unusually large increase in new accessions and/or at-risk records.

Measurement Categories and Values

FY 99 Workload

1. Assessing all new accessions received by the Washington, DC, facilities for preservation requirements (approximately 29,800 cubic feet).
    
2. a. Housing at-risk material in Washington, DC, facilities in appropriate containers: 30,800 cubic feet (textual); 183,300 items (non-textual).
   b. Conservation treatment: 28,700 units.
   c. Reformatting and duplication: 2.5 million units (includes contractor workload of 130,000 units).
   d. Moving audiovisual records into cold storage: 60,000 cubic feet.

FY 99 Output

1. All new accessions received by the Washington, DC, facilities assessed for preservation requirements (approximately 29,800 cubic feet).
    
2. Material in the Washington, DC, facilities housed in appropriate containers: 30,800 cubic feet (textual); 183,300 (non-textual).
   Material that received conservation treatment: 28,700 units.
   Material reformatted and duplicated: 2.5 million units (includes contractor output).
   Audiovisual records moved into cold storage: 60,000 cubic feet.

FY 99 Productivity

2. Housing in appropriate containers: 1,450 cubic feet per FTE (textual); 2,050 units per FTE (non-textual).
   Conservation treatment: 2,390 units per FTE.
   Reformatting and duplication: 143,800 units per FTE (does not include contractors' labor).

FY 99 Outcome

Preservation actions in the Washington, DC, area are based on risk assessment criteria. At-risk materials are appropriately preserved according to degree of risk, value and use.

Long Range Performance Target 3.3. By 2007, 97 percent of electronic records in NARA holdings are managed and preserved in accordance with applicable voluntary consensus standards, regardless of their original format.

FY 99 Objectives

1. Increase Archival Preservation System (APS) processing capacity to 50,000 files per year.

Significance of FY 99 Objectives. Though databases comprise the majority of electronic records currently processed by NARA, increasingly the agency is processing accessions of files that originated on personal computers and local area networks. The Archival Preservation System, which is optimized for copying relatively small numbers of large files, needs to be modified to efficiently process very large numbers of relatively small files. In addition, NARA expects to receive accessions of substantial volumes of textual electronic records from the Executive Office of the President, the Department of State, and the Securities and Exchange Commission, among others. NARA will need to add capability to meet basic archival needs for processing such records.

Means and Strategies. The Archival Preservation System performs four functions:

1. Identifies files and recording formats, and determines physical readability of the media.
    
2. Produces a complete copy of the files on archival preservation media.
    
3. Creates an audit trail record to guarantee data integrity.
    
4. Manages files to ensure continued readability.
    

The FY 97 workload of 5,000 files per year will grow substantially to more than 1,000,000 files per year as recordkeeping systems are converted to electronic media. The present APS can accommodate up to 5,000 files per year. APS changes to be implemented during FY 98 will increase the capacity to 50,000 files per year.

Measurement Categories and Values

FY 99 Workload

50,000 files.

FY 99 Output

50,000 files.

FY 99 Productivity

7,692 files per FTE.

FY 99 Outcome

Improved capability in the APS system to preserve electronic records that continue to grow substantially in volume, diversity, and complexity.

Definitions:

1. appropriate housing - containers (boxes) which provide a suitable storage environment (protection ) for the records, and facilitate researcher access to NARA holdings. Return to text.
2. conservation treatment units - include, but are not limited to, unbound papers, bound volumes, phased boxing, cartographic items, and still photos. Return to text.
3. reformatting and duplication units - include, but are not limited to, still photos, microfilm, sound and video recordings, motion picture film, paper-to-paper copying, and preservation microfilming. Return to text.
4. contractor workload - 130,000 items are contracted out for reformatting and duplication. This includes 1,000 items of varying audio/video format, 700 aerial film rolls, 33,000 interpositives of still photo negatives, and 30,000 acetate and nitrate negatives (to be preserved with additional funding requested). These figures are included as part of NARA's total workload and output. Productivity has been calculated only on work performed by NARA's FTE. Return to text.

STRATEGIC GOAL 4
NARA's capabilities for making changes necessary to realize our vision will continuously expand.

Long Range Performance Targets

4.1. By 2002, 100 percent of employee performance plans and appraisals are linked to strategic outcomes.

4.2. By 2002, the percentages of people in protected classes employed and recruited NARA-wide match the percentages of people in national PATCOB categories, the latter of which will vary annually due to civilian labor force changes, and NARA will especially focus on increasing the numbers of people in protected classes to be included in pools of applicants for positions in Grades 13 and above.

4.3. By 2003, all NARA employees have staff development plans that are linked to NARA's strategic goals and all employees are engaged in training and development in accordance with those plans.

4.4. By 2007, NARANET will provide a 95 percent effective computer and communications infrastructure.

4.5. By 2007, NARA has developed and implemented modules of an automated records life-cycle system that will support the inventorying, scheduling, appraising, accessioning, maintenance, use, declassification, and preservation of records.

FY 99 Resources Required to Meet This Goal: Goal 4 supports goals 1 through 3. Resources required are included in the totals for those goals.

Long Range Performance Target 4.1. By 2002, 100 percent of employee performance plans and appraisals are linked to strategic outcomes.

FY 99 Objectives

1. Develop and submit for OPM approval a new agency performance appraisal system that will support the ready linkage of individual performance plans and appraisals with strategic outcomes.
    
2. Develop an implementation plan that will address the timetable for accomplishment of all required actions.
    

Significance of FY 99 Objective. Although some offices had established individual performance plans which were linked to previous strategic plans, this did not occur systematically throughout NARA. A new agency performance appraisal system will change NARA's organizational culture by systematically linking employees' individual performance with the overall performance of NARA as an agency.

Means and Strategies

• Develop an agency performance appraisal system and implementing regulation.
• Negotiate impact and implementation issues with AFGE Council 260.
• Reconcile all comments/issues and revise and submit the system for OPM approval.
• Develop an implementation plan.

Key external factors that could influence the achievement of the FY 99 objective: Protracted negotiations over impact and implementation issues with AFGE Council 260 would delay submission of the new system to OPM. Possible revisions required by OPM would delay approval and implementation.

Measurement Categories and Values

FY 99 Workload

Development of system and implementation plan.

FY 99 Output

New performance appraisal system.
Completed implementation plan.

FY 99 Outcome

• NARA's new agency performance appraisal system will meet 100 percent of NARA's and OPM's criteria for linkage of individual performance plans and appraisals with strategic outcomes.
   
• Implementation plan will include realistic and acceptable timetable and conditions for accomplishing performance target in 2002.

Long Range Performance Target 4.2. By 2002, the percentages of people in protected classes employed and recruited NARA-wide match the percentages of people in national PATCOB categories, the latter of which will vary annually due to civilian labor force changes, and NARA will especially focus on increasing the numbers of people in protected classes to be included in pools of applicants for positions in Grades 13 and above.

FY 99 Objectives

1. Provide formal diversity training to 33 percent of NARA managers and employees.
    
2. Employ and recruit percentages of people in protected classes so that NARA's percentages match 40 percent of those percentages of people in protected classes in national PATCOB categories.
    
3. Increase the percentage of people in protected classes in pools of applicants from which to select for positions in Grades 13 and above.

Significance of FY 99 Objectives. Training in diversity is a critical step for creating an understanding of the value of diversity and ensuring its integration into NARA's organization. By additionally continuing on-going efforts regarding expansion of recruiting techniques, collection and analysis of pertinent personnel management data, and implementation of a professional development program, NARA will continue to make systematic progress toward achieving the long-range performance target for levels of representation of protected classes.

Means and Strategies. As of September 30, 1997, NARA's percentages of protected classes showed that:

• all protected classes are concentrated in lower grades in NARA;
• Hispanics and certain other protected classes are seriously under-represented as compared to PATCOB percentages;
• representations of African-Americans and women exceed companion percentages in PATCOB categories.

In 1997, NARA issued its Diversity Policy Statement and in 1998 will issue a Diversity Policy Pamphlet. Data on NARA's employment of people in protected classes and its progress in achieving an equitable employment environment are published annually in NARA's Fiscal Year Affirmative Employment Program Accomplishment Report.

NARA will:

• train managers and employees in EEO principles and practices using the diversity training course developed in FY 98;
• coordinate with affected NARA offices on expanding personnel recruiting techniques, to reach a more diverse population of applicants;
• collect and analyze staffing, recruitment, and other pertinent personnel management data;
• implement a professional development program that will incorporate affirmative action principles; and
• hold a diversity essay contest which should sensitize staff to diversity issues and values.

Key accomplishments needed in FY 98 that enable achievement of FY 99 objectives:

1. Complete development of a diversity training course and begin training managers and employees in that same year.
2. Expand recruiting techniques to reach a more diverse population of applicants.
3. Continue to collect and analyze staffing, recruitment, and other personnel management data.
4. Implement a professional development program for NARA staff, to demonstrate the level of management's commitment to assimilating affirmative action principles into daily staff recruitment, training, and promotion practices.
5. Recruit and employ people in protected classes so that NARA's percentages match 20 percent of those percentages in national PATCOB categories.

Key external factors that could influence the achievement of the FY 99 objectives: Budgetary concerns, including FTE ceiling and other personnel action freezes, may limit the opportunities to recruit and promote individuals, whether or not these individuals are in a protected class.

Measurement Categories and Values

FY 99 Workload

Presenting diversity training classes to at least 33 percent of NARA employees.

FY 99 Output

• Employment and recruitment of people in protected classes matches 40 percent of those percentages in national PATCOB categories.
• At least 33 percent of NARA employees receive formal diversity training.

FY 99 Outcome

• NARA will increase its representation of protected classes throughout its workforce (especially in Grades 13 and above).
   
• Selections, promotions, details, and training opportunities will demonstrate consistent application of affirmative action principles across the agency.
   
• Employee survey results will show high level of satisfaction with implementation of diversity values and principles.

Long Range Performance Target 4.3. By 2003, all NARA employees have staff development plans that are linked to NARA's strategic goals and all employees are engaged in training and development in accordance with those plans.

FY 99 Objectives

1. Test and refine courses that address the supervisory competencies expected of all NARA managers (as piloted during FY 98).
    
2. Pilot a curriculum of courses that address the core competencies expected of all NARA employees.
    
3. Train 50 percent of managers on how to comply with GPRA, prepare types of staff development plan modules for job-specific competencies, and link NARA's strategic goals to development plans.
    

Significance of FY 99 Objectives. To build a comprehensive professional development program by 2003, NARA needs to develop, test, refine, and implement several different types of training requirements modules for supervisory, core, and job-specific competencies and other skills areas, linked to accomplishment of NARA's strategic goals. FY 99 will be the second year of work toward building this professional development program.

The development of instruction for supervisors and managers is a primary focus early on in this entire process, since it is NARA managers who are ultimately responsible for ensuring that the agency's work is accomplished and services are delivered efficiently and effectively by NARA employees. Defining the core knowledge, skills, and abilities that all employees should have to meet common organizational needs in such areas as customer service, information resources management, and oral and written communications (and linking these skills areas where applicable to NARA's strategic goals) is another critical first step.

Means and Strategies. As of September 2, 1997, NARA has approximately 82 occupational series in which 3,134 employees are grouped according to position title, grade, and organizational unit. Currently, only employees who are GS 1420 archivists at Grades 5, 7, and 9 — less than one percent of NARA staff — have formal development plans upon which their training is based.

In FY 99, NARA will:

• arrange for pilot groups of managers to test courses developed in FY 98 that address supervisory competencies;
   
• identify, research, and analyze core competencies;
   
• pilot a curriculum of courses for NARA-wide comments/review, reconcile comments/issues, and finalize courses for testing and refining;
   
• refine a curriculum of courses, based on feedback from pilot groups, so that in FY 00 implementation may occur of one-module staff development plans; and
   
• continue to train managers on complying with GPRA, preparing types of staff development plan modules for job-specific competencies, and linking plans to strategic goals.

Key accomplishments needed in FY 98 that enable achievement of the FY 99 objectives: Develop types of modules that describe the supervisory competencies expected of all NARA managers. Provide mandatory training for managers on complying with GPRA, preparing types of staff development plan modules for job-specific competencies, and linking plans with NARA's strategic goals.

Measurement Categories and Values

FY 99 Workload

1. Testing and refining at least two courses that address the supervisory competencies expected of all NARA managers.
2. Developing at least three courses that address the core competencies expected of all NARA employees.
3. Providing GPRA and development plan training for 50 percent of NARA supervisors.

FY 99 Output

1. At least two courses have been tested and refined that address the supervisory competencies expected of all NARA managers.
2. At least three courses will be developed that address the core competencies expected of all NARA employees.
3. Fifty percent of NARA managers will have received GPRA and development plan training.

FY 99 Outcome

1. After "reality-based" testing and refining, those courses or parts of courses that address supervisory competencies that are practical and workable will be identified for subsequent inclusion in one-module staff development plans.
2. Core competency areas and different methods for employees to attain these competencies will be preliminarily identified.
3. After two years of instruction, 100 percent of NARA managers will be more knowledgeable about GPRA requirements and better prepared to draft staff development plan modules that include elements linked to strategic goals.

Long Range Performance Target 4.4. By 2007, NARANET will provide a 95 percent effective computer and communications infrastructure.

FY 99 Objectives

1. Install the necessary monitoring tools, develop a process for monitoring network performance, and collect baseline data.
2. Operate Washington, DC, area network at 99.7 percent of availability.

Significance of FY 99 Objectives. NARANET connects approximately 2,500 NARA staff who use personal computers and the public who access NARA information via the Internet approximately 2.4 million times a month. NARANET is increasingly being used by our external customers to access and request information about NARA and its record holdings. The requirement for reliable performance becomes imperative and the need to measure the rate of delivering software and data to the desktop is essential to ensuring that customer expectations can be met.

Means and Strategies

• Baseline assessment indicates that NARANET currently is 75 percent effective.
• A full complement of monitoring tools has not been installed on the NARANET to systematically measure network performance.
• NARA has modified the NARANET support contract. The new contract includes an award fee based on performance. A system to measure contractor performance with specific metrics based on network availability, help desk responsiveness and IT task management is in development. This contractor assessment along with network performance software to be installed in FY 97 and 98 will provide the basis for measuring NARANET performance.

Measurement Categories and Values

FY 99 Workload

• Accommodating 2.4 million Internet access "hits" per month.
• Providing network services to 2,500 NARA staff.

FY 99 Output

• NARANET operates and is maintained at 85 percent of effectiveness.
• Network services in the Washington, DC, area operate and are maintained at 99.7 percent of effectiveness.
• Monitoring tools installed and operating to assess network performance.

FY 99 Outcome

• User access to network servers provided 99.7 percent of the time.
• Performance information for all NARANET components is available.

Long Range Performance Target 4.5. By 2007, NARA has developed and implemented modules of an automated records life-cycle system that will support the inventorying, scheduling, appraising, accessioning, maintenance, use, declassification, and preservation of records.

FY 99 Objectives

1. Establish team and complete data collection efforts including as-is modeling of existing processes for the re-engineering study of the inventorying, appraisal, scheduling, and tracking of Federal records while in agency custody. (See also Target 1.1.)
    
2. Complete development of the Archival Research Catalog. (See also Target 2.3.)
    

Significance of FY 99 Objectives. A nationwide, electronic system that supports the effective management of Federal and Presidential records throughout their life cycle will produce significant benefits for both the Federal Government and its customers. It will save money, reduce records loss, and make it easier for the Government to retrieve records for itself and for the public. The FY 99 Objectives provide the foundation for the system.

Means and Strategies

• Establish team and complete data collection efforts including as-is modeling of existing processes for the re-engineering study of the inventorying, appraisal, scheduling, and tracking of Federal records while in agency custody. (See Target 1.1 for additional information.)
   
• Migrate existing prototype (National Archives Information Locator — NAIL) data into Archival Research Catalog (ARC).
   
• Enter new descriptions and descriptions from existing finding aids.
   
• Migrate descriptions of legacy automated systems.
   

Measurement Categories and Values

FY 99 Workload

• Implementation of the ARC in all NARA sites.
• Description of 216,000 cubic feet of records. (See Target 2.3 for additional information.)
• Establish team and complete data collection efforts including as-is modeling of existing process for re-engineering study. (See Target 1.1 for additional information.)

FY 99 Output

• Implementation of ARC in all NARA facilities completed.
• 216,000 cubic feet described.
• Established team and completed data collection efforts including as-is modeling of existing process for the re-engineering study.

FY 99 Outcome

Meeting the FY 99 Objective will lay the foundation for the automated records life-cycle system.

Definitions:

1. protected classes - women, minorities (African-Americans, Hispanics, Asian-Americans/Pacific Islanders, and American Indians/Alaskan Natives), and disabled individuals. Return to text.
2. PATCOB - Professional, Administrative, Technical, Clerical, Other and Blue Collar occupations used to categorize the Civilian Labor Force data collected by the U.S. Census Bureau. Return to text.
3. staff development plan - a plan to provide and enhance an employee's knowledge, skills, and abilities, and to improve performance in his/her current job and of duties outside his/her current job in response to organizational needs and human resource plans. Return to text.
4. GS-1420 - OPM job classification series for archivists. Return to text.
5. NARANET - a collection of local area networks installed in each of 32 NARA facilities that are connected to a wide area network at Archives II, using frame relay telecommunications, and then to the Internet. NARANET includes personal computers with a standardized suite of software including WordPerfect, GroupWise (e-mail), Lotus 1-2-3, and Microsoft Access. NARANET was designed to be modular and scalable using standard hardware and software components. Return to text.
6. records life-cycle system - an automated system for tracking and managing records from creation through maintenance, use, and disposition. Return to text.
7. life cycle of records - the stages of a record — creation, scheduling and appraisal, maintenance in records centers, destruction or archival accessioning, preservation, and continuing use. Return to text.